SEC Filing Summary: Form 13F Information Table
Business Context and Reporting Period
This filing is a Form 13F Information Table submitted to the U.S. Securities and Exchange Commission. The reporting entity is Lloyds Banking Group Plc, and the data reflects holdings as of the period ending June 30, 2017. This form discloses the equity securities held by institutional investment managers with over $100 million in qualifying assets.
Key Financial Metrics and Holdings
The filing details a portfolio of U.S. equity securities and exchange-traded funds (ETFs). The table lists the issuer, class of security, CUSIP, value (in thousands of USD), and share/principal amount. Voting authority is reported as "Sole" for all listed positions.
| Issuer | Value ($000s) | Shares/Principal |
|---|---|---|
| JPMORGAN CHASE & CO | 2,578 | 28,209 |
| ORACLE CORP | 305 | 6,092 |
| REGIONS FINL CORP | 108 | 7,378 |
| COMCAST CORP | 217 | 5,575 |
| BORGWARNER INC | 212 | 5,029 |
| GLOBUS MED INC | 162 | 4,899 |
| RITCHIE BROS AUCTIONEERS | 128 | 4,456 |
| SCHWAB CHARLES CORP | 189 | 4,399 |
| INTERCONTINENTALEXCHANGE GRO | 265 | 4,031 |
| MANHATTAN ASSOCS INC | 189 | 3,934 |
Note: The table above lists the top 10 holdings by value. The full filing contains approximately 60 positions, including ETFs such as ISHARES TR NA TEC-SFTWR ETF and SELECT SECTOR SPDR TR.
Material Changes
The filing text provided is a static snapshot of holdings as of June 30, 2017. It does not contain comparative data for the prior quarter or year, nor does it explicitly state material changes in position size versus the previous reporting period.
Guidance, Outlook, and Risks
As a Form 13F, this document is a regulatory disclosure of holdings and does not contain management commentary, financial guidance, outlook, or risk factors specific to Lloyds Banking Group's operations. The filing includes a standard disclaimer that the SEC has not reviewed the information for accuracy or completeness.
Investor Verification Checklist
- Portfolio Composition: Verify the concentration of financial sector holdings (e.g., JPMorgan Chase, Regions Financial, Charles Schwab) relative to the total portfolio.
- Valuation Accuracy: Confirm that the reported values (in thousands) align with market prices as of June 30, 2017.
- Voting Rights: Note that all listed positions report "Sole" voting authority, indicating Lloyds Banking Group Plc has full discretion over these votes.
- Missing Data: The filing does not provide total portfolio value, cash positions, or non-equity assets; these must be sourced from other reports.